Client Identification – What Must You Do?

If you are retained by a client to provide legal services and are not exempt, what are you required to do?

Obtain and Record

Rule 1542 requires you to obtain and record specified information about clients who retain you. To fulfil these requirements:

• document the client’s information by making written or electronic notes,
• date your documentation, and
• do not make copies of client identification documents unless you have

Rule 1542 does not require you to make copies of your client’s driver’s license or other identification. Further, PIPEDA prohibits you from collecting, using, or disclosing personal information that you do not require. Retaining a copy of your client’s identification (e.g., driver’s license) is unnecessary and, if copied and retained without authorization from the client may be an unauthorized collection under PIPEDA.

Information from Individuals

If the client is an individual, you must obtain and record the client’s:

• full name,
• business address and business telephone number,
• home address and home telephone number, and
• occupation.

See Rule 1542.

You are not required to keep a copy of the client’s identification (e.g., driver’s license). Retaining a copy without authorization from the client may be an unauthorized collection under PIPEDA.

Information from Organizations

If the client is an organization, you must obtain and record the client’s:

• full name, business address and business telephone number,
• incorporation or business identification number and the place of issue of such incorporation or business identification number, if applicable, unless the client is a financial institution, public body, or reporting issuer; and
• the general nature of the client’s business, unless the client is a financial institution, public body, or reporting issuer.

You must also identify the individual or individuals who will instruct you on behalf of the organization. Obtain the following information from these individuals:

• full name,
• business address and business telephone number,
• home address and home telephone number, and
• occupation.

Note that “financial institution”, “public body”, and “reporting issuer” are defined terms. See Rule 1501.